DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Financial Strategies Investment Advisor Services, Inc.

Former SEC-registered adviserBethel, ConnecticutCRD 113526SEC 801-132837websiteIAPD
Latest filing Aug 8, 2025
First filing on the tape Aug 8, 2025 · 1 filings
SEC status approved since Aug 7, 2025
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$103M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $104M
HNW client RAUM: $42.2M
State-registered IARs (5.B.3): 4
Employees (5.A): 5
Private funds: no history
Practice profile
derived from the filing of Aug 8, 2025; every figure names its basis
RAUM per advisor
$26.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
78derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$217,354derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$14.8M, 8 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$60.9M59%
  • High-net-worth individuals$42.2M41%
  • Charitable organizations$813,8740.8%
Individual clients
286reported
HNW clients
24reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
478reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$14.8M for 8 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    North Haven, Ct002
    Shelton, Ct002
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    6 dated events
    • Financial Strategies Investment Advisor Services, Inc. no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $103.9M)
      Jan 2, 2026 · Left the SEC roster · derived
    • Carol A Truluck left Financial Strategies Investment Advisor Services, Inc. for Innovative Asset Advisors Group (registered 2025-09-29)
      Dec 22, 2025 · Advisor changed firm · fact
    • Kimberly A Giannone left Financial Strategies Investment Advisor Services, Inc. for Innovative Asset Advisors Group (registered 2025-09-29)
      Dec 22, 2025 · Advisor changed firm · fact
    • Edward Andrew Tomasko left Financial Strategies Investment Advisor Services, Inc. for Innovative Asset Advisors Group (registered 2025-11-13)
      Dec 22, 2025 · Advisor changed firm · fact
    • Martino Mezza left Financial Strategies Investment Advisor Services, Inc. for Innovative Asset Advisors Group (registered 2025-11-13)
      Dec 22, 2025 · Advisor changed firm · fact
    • Financial Strategies Investment Advisor Services, Inc.'s advisors moved to Innovative Asset Advisors Group (Shelton, CT): 4 of 4 registered, on the same day
      Dec 22, 2025 · Firm absorbed (people side) · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026